JH
James D. Hertzler
KESTRA ADVISORY SERVICES
Chesterfield, MO 63017-6049
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CRD#: 6286376
JH
Professional summary
James David Hertzler, AIF® is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Chesterfield, Missouri and KESTRA INVESTMENT SERVICES, LLC located in Chesterfield, Missouri.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. James has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: HERTZLER WEALTH MANAGEMENT, LLC POSI: President/Managing Member NOB: Insurance INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/28/2022 ADDRESS: 16020 Swingley Ridge Road, Suite 135, Chesterfield MO 63017, United States DESC: I am the President and managing member of Hertzler Wealth Management, LLC. This provides the business structure and DBA for activities related to being a Registered Representative for Kestra IS and an IAR for Kestra AS for both myself and Connie Hertzler. We also will be engaged in selling life insurance, long-term care insurance, and fixed annuities as appropriate. Business Name: JAMES D HERTZLER, NOTARY PUBLIC POSI: Notary NOB: Notary Public INV REL: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/10/2022 ADDRESS: 16020 Swingley Ridge Road, Suite 135, Chesterfield MO 63017, United States DESCRIPTION: Verify identities and notarize customer documents Business Name: CHESTERFIELD COMMUNITY CHURCH POSI: Elder NOB: Board position (Board of Directors, Board of Trustees, etc.) INV REL: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2013 ADDRESS: 14647 Ladue Road, Chesterfield MO 63017, DESC: I am part of a group that provides leadership, oversight, and missional planning for the church. Business Name: KESTRA ADVISORY SERVICES, LLC POSI: IAR NOB: Investment advisory services through Kestra Advisory Services, LLC INV REL: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/28/2022 ADDRESS: 5707 southwest pkwy,, BLDG 2, suite 400, Austin TX 78735 DESC: Provide services as an IAR of Kestra Advisory Services LLC. Business Name: HERTZLER WEALTH MANAGEMENT LLC POSI: Lease holder NOB: Real Estate INV REL: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 16020 Swingley Ridge Rd., Suite 135, Chesterfield MO 63017 DESC: Continue to pay the lease obligation that we have and supervise that the office space is being used properly.
CRS (Client Relationship Summary) - RIA
Click below to view James David Hertzler's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 27, 2022 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 16020 Swingley Ridge Road Suite 230, Chesterfield, MO 63017-6049RIA
CRD#: 283330
Chesterfield, MO
Current
July 27, 2022 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 16020 Swingley Ridge Road Suite 135, Chesterfield, MO 63017BD
CRD#: 42046
Chesterfield, MO
Past
April 8, 2019 - December 22, 2022
FINANCIAL LEGACY ASSOCIATES
RIA
CRD#: 115944
CHESTERFIELD, MO
Past
February 28, 2019 - July 29, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
CHESTERFIELD, MO
Past
February 12, 2019 - July 29, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
CHESTERFIELD, MO
Past
March 31, 2014 - December 31, 2018
BRAND ASSET MANAGEMENT GROUP, INC.
RIA
CRD#: 106162
CHESTERFIELD, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/27/2022)
RR
California(7/27/2022)
RR
Colorado(7/27/2022)
RR
District of Columbia(7/27/2022)
RR
Florida(7/27/2022)
RR
Georgia(7/27/2022)
RR
Illinois(7/27/2022)
RR
Indiana(7/27/2022)
RR
Kansas(4/29/2024)
RR
Michigan(7/27/2022)
RR
Missouri(7/27/2022)
IAR
Missouri(7/27/2022)
RR
Nebraska(4/29/2024)
RR
North Carolina(8/1/2022)
RR
Ohio(7/27/2022)
RR
Oregon(10/13/2022)
RR
Pennsylvania(7/27/2022)
RR
Tennessee(7/27/2022)
RR
Texas(7/27/2022)
IAR
Texas(7/28/2022)
RR
Virginia(9/30/2024)
RR
Washington(4/18/2023)
RR
Wisconsin(7/27/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/12/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Chesterfield, MO 63017-6049TRUST BUT VERIFY
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